VS
Vivienne K. Schleu
NATIONAL WEALTH MANAGEMENT GROUP
Coconut Creek, FL 33073
Some features on this profile are disabled
CRD#: 2670443
VS
Professional summary
Vivienne Karin Schleu is a registered financial advisor currently at NATIONAL WEALTH MANAGEMENT GROUP, LLC located in Coconut Creek, Florida and LPL FINANCIAL LLC located in Coconut Creek, Florida.
Vivienne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Vivienne has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) 05/23/2008: Galleon Bay - family business - INV REL - At Reported Business Location(s) - President/part owner of Florida land development company - 2% Time Spent
(2) 05/23/2008: No Business Name - Tax Prep/Accounting/CPA - INV REL - At Reported Business Location(s) - Preparation of taxes & business advice. - 5% Time Spent
(3) 11/14/2011: No Business Name - DBA for LPL Business (entity for LPL business) - Alpina Financial Consultants, LLC - INV REL - At Reported Business Location(s)
(4) 05/19/2015: National Wealth Management Group, LLC - Registered Investment Advisor Hybrid - (HYBRID) National Wealth Management Group, LLC - INV REL - At Reported Business Location(s) - Start 02/15/2015 - Managing Director, Chief Financial Officer (CFO) and Investment Adviser Representative (IAR) - 200 Hr/Mo; 140 Hours During Securities Trading
(5) 05/23/2016: ALPINA TAX & ACCOUNTING SERVICES, LLC - Tax Prep/Accounting/CPA - INV REL - 4171 W. Hillsboro Blvd., Suite 4, Coconut Creek, Florida 33073 - Start 05/23/2016 - Co-Owner/CPA - 25 Hr/Mo; 10 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Vivienne Karin Schleu's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2015 - Present
NATIONAL WEALTH MANAGEMENT GROUP, LLC
Office #1: 4171 W. Hillsboro Blvd Suite 4, Coconut Creek, FL 33073RIA
CRD#: 174883
Coconut Creek, FL
Current
May 23, 2008 - Present
LPL FINANCIAL LLC
Office #1: 4171 W Hillsboro Blvd Suite 4, Coconut Creek, FL 33073Office #2: 11260 Chester Rd Ste 250, Cincinnati, OH 45246RIA
BD
CRD#: 6413
Coconut Creek, FL
Past
May 18, 2015 - December 31, 2021
NATIONAL WEALTH MANAGEMENT GROUP, LLC
RIA
CRD#: 174883
CINCINNATI, OH
Past
May 29, 2008 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOCA RATON, FL
Past
January 16, 2007 - May 30, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
COCONUT CREEK, FL
Past
April 2, 2002 - May 28, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
BOCA RATON, FL
Past
December 14, 1995 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
November 3, 1995 - December 8, 1995
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC
CRD#: 174883 / SEC#: 801-80983
RIA
Registered Investment Advisory firm - (2/19/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/10/2010)
RR
Arizona(1/13/2012)
RR
California(5/27/2008)
RR
Colorado(1/18/2012)
RR
Connecticut(1/20/2012)
RR
Delaware(1/10/2012)
RR
Florida(5/27/2008)
IAR
Florida(6/29/2015)
RR
Georgia(11/23/2010)
RR
Illinois(1/9/2012)
RR
Indiana(1/18/2012)
RR
Kentucky(1/9/2012)
RR
Maryland(1/9/2012)
RR
Massachusetts(1/13/2012)
RR
Michigan(1/13/2012)
RR
Minnesota(1/9/2012)
RR
Mississippi(2/1/2012)
RR
Missouri(1/9/2012)
RR
Nevada(1/25/2012)
RR
New Jersey(5/27/2008)
RR
New York(5/27/2008)
RR
North Carolina(5/27/2008)
RR
Ohio(4/15/2010)
IAR
Ohio(1/7/2022)
RR
Oklahoma(3/21/2012)
RR
Oregon(1/9/2012)
RR
Pennsylvania(1/9/2012)
RR
South Carolina(1/11/2012)
RR
Texas(8/12/2008)
IAR
Texas(1/6/2022)
RR
Virginia(1/9/2012)
RR
Wisconsin(1/9/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC
CRD#: 174883 / SEC#: 801-80983
RIA
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Contact information
Main Address
11260 Chester Road Suite 250, Cincinnati, OH 45246-0002
Mailing Address
Phone number
(513) 772-2592
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,066 |
| AUM (Assets Under Management) | $ 325,727,820 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NATIONAL WEALTH MANAGEMENT GROUP, LLC
CRD#: 174883Coconut Creek, FL 33073TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
